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- Personal Account Dealing
The 6 Steps to Faster and Simpler Personal Account Dealing Compliance
After understandable volatility in the world’s capital markets last March, the recovery took hold throughout the second half of 2020 and into 2021,...
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How to Avoid Conflict of Interest in the Workplace
When the original Markets in Financial Instruments Directive (MiFID) came into effect, it required that investment firms manage and mitigate...
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How to Manage Board of Directors’ Conflict of Interest
Directors take on a fiduciary duty as a result of their position in a company and this obligation to act in the best interests of the organisation...
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5 Risky Types of Conflict of Interest + Best Practices
For businesses, conflicts of interest are fraught with risk. From financial losses to reputational damage, when employees are not solely acting in...
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5 Examples of Conflict of Interest and What We Can Learn from Them
Conflicts of interest can occur in all walks of life, from business to politics and some which straddle both fields. They come about when a person’s...
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How To Create A Solid Employee Personal Trading Policy
An employee trading policy, also referred to as a Code of Ethics or Code of Conduct, is designed to prevent financial workers from using confidential...
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How To Manage Employee Personal Trading Compliance
To strengthen the control over personal transactions and prevent insider trading, the European Securities and Market Authority (ESMA) has mandated...
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5 Employee Personal Trade Monitoring Challenges (And How To Prepare)
With such a large volume of transactions flowing through the European markets, trade surveillance is essential. For the sake of fairness, stakeholder...
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How to Manage Personal Account Dealing in an Era of Stricter FCA Oversight
Regulators around the world are keen to prevent market abuse from creating distrust in the financial system. This endeavour has led to various pieces...
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